- TD Bank Group (New York, NY)
- …the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). Surveillance experience at Financial Market Regulator (eg, SEC, ... strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through… more
- Veterans Sourcing Group (Pennington, NJ)
- …excel required Desired Skills: - Relevant coursework in finance a plus - Previous experience working for a broker dealer or supporting a financial advisory team ... Analyst role supports the Performance Operations organization. The Information Management Analyst is responsible for assisting with client onboarding into the… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding ... DMA, plus award-winning data, insights and analytics [do not delete]. The US Onboarding team is responsible for facilitating the account opening process across a… more
- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Principal ... of Business:** TD Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, ... similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- Adecco US, Inc. (Pennington, NJ)
- …required . Relevant coursework in finance a plus . Previous experience working for a broker dealer or supporting a financial advisory team As a reminder, this ... Analyst role supports the Performance Operations organization. The Information Management Analyst is responsible for assisting with client onboarding into the… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through… more
